• Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities
• Failure to Respond, Failure to Respond Truthfully or in a Timely Manner, or Providing a Partial but Incomplete Response to Requests Made Pursuant to FINRA Rule 8210
• Settling Customer Complaints
(a) Participation Requirements
(1) Only members of FINRA in good standing may participate in the FINRA/NYSE Trade Reporting Facility.
(2) Participation in the System shall be conditioned upon the initial and continuing compliance with the following requirements:
(A) execution of, and continuing compliance with, a Participant Application Agreement;
(B) membership in, or maintenance of an
FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the
Both I and my husband are individual investors and what we invest in and how much we invest is up to us as long as we are personally responsible for our own investments. To put the proposed regulations upon us is a great misplaced idea and an unacceptable proposal. I do not need to be told what to invest in or take a test to determine my investment knowledge because as an individual investor I
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 23, 2023. Please be advised that the TRACE system will close early on Friday, November 24, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you
It is important that the pending increased regulation of "complex products" is not passed or put into place by FINRA.
Products deemed as such as used by investors such as myself after careful study, constitute a very small portion of my or my family office's net worth/liquidity, but present a vital tool in risk managment and/or achieving more beta in certain investing
I am writing to oppose any further regulation on leveraged and inverse investment products. Individual investors like myself have access to prospectus documents, we can read how the product operates, and we know that all investments in the stock and bond markets come with risks. Who is clamoring for this regulation, besides regulators? You might prevent 1% of investors from making a mistake, but
I want to have freedom to choose my investments, there is disclosure of risk already before any "risky" asset can be purchased.
I do NOT support further requirements to trade these securities, I should be the one making decisions about risk I am willing to take.
Leveraged and inverse funds play significant role in my trading strategy and investment strategy and can not be
I oppose restrictions to my rights to invest and the rules should apply to all, not just the wealthy or privileged.
I should be able to choose the public
investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
Everyone should have equal rights and equal access to ALL investments without restrictions and
Dear FINRA Regulators,
Ive invested in many different leveraged funds that have allowed a relative lower income individual to grow my retirement funds at an accelerated rate that wouldnt be possible without them.
It was a godsend after a tragic accident where I lost my wife and sons girlfriend and was able to invest in funds that allowed me to pay off many medical bills and costs of living that
